Managing power in the post-Carolingian era: rulers and ruled in frontier Catalonia, 880-1010 more
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Managing power in the postCarolingian era: rulers and ruled in frontier Catalonia, 8801010
I think it’s been four years since I last presented at this seminar, and it’s a real pleasure to do so again, not least because the last time I did, I was pitching well out of my usual area. But it’s come to my attention lately that I almost always do present out of my area. The friendly faces here whom I have also seen in the Leeds sessions I run will have heard me repeatedly problematising charter evidence and even doing something quite close to actual diplomatic; and elsewhere, in recent years, I seem to have talked about crop yields, tax in alAndalus, dynastic legends in noble families, peasant land clearance, frontier bandits and how a third of all early medieval papal bulls might be fake. Given all of that it suddenly strikes me that it might not be unreasonable to ask what I actually concentrate on! And now the occasion arises to answer that question, partly because of the convenors’ kind invitation to speak here this evening and partly because I now have a book that tells you about what I concentrate on! So what I aim to do tonight is take you through some of the highlights of the work I did for the book, by way of illustrating its general line of argument, to wrap it up with a kind of mission statement about what we can do with the evidence I’ve chosen to study, and then an epilogue of sorts to tell you a bit about the direction I hope to pursue with it next. But the short answer to the question of my research topic is that I’m interested in power, in how when authority in this era had to make itself felt over a distance where brute coercion was impractical—which is not much of a distance, if you have to do it continually and feed the coercers from the results. I’m interested in the arrangements that were made to allow such power to operate, in the people who made those arrangements; and in how this was perceived, endured and put to use by those subject to that authority. That last bit is important, because as Thomas Bisson put it in a kind email to me when I was just starting out on this, “the history of power is a matter of the experience as well as the exercise of power”. And, at the risk of anticipating the conclusion, I will say that I think that we assume too readily that both rulers and ruled had little or no choice in the way they did these two things, that huge cultural modalities bore down on their praxis and made them behave in a way that allows us to generalise about ‘the peasantry’ or ‘aristocrats’. In fact, while generalisation is not impossible and is obviously necessary, the generalisations that we adopt need to allow for agency and consideration on both sides of the power balance. It may, of course, be easier to find such variation on a frontier, where social structures were still being laid down. That was exactly what drew me to the area in the first place and it has drawn a number of anthropologists to
frontiers too, seeing periphery rather than core as the locus of cultural production. This does not, however, mean that models from frontier areas can be disregarded as just being weird; because they are weird, they don’t just challenge and test answers that might be acceptable elsewhere; they offer alternatives that may also be acceptable. We need to ask, as well as ‘did this happen in his area?’, ‘could this have been happening in my area?’ and I hope that by the end I’ll at least have given you one or two possibilities to test with areas you know better than I do.
The State of the Nation
So, that’s the pitch. Before we get much deeper, however, it’s necessary to characterise both the area and the evidence a little bit. I am talking, as far as most people are concerned, about Spain, but I’ve chosen a rather unusual bit of Spain. It is the wealthiest part of Spain, it is one of the wetter parts of Spain, it has the Spanish seacoast closest to France, Italy and the Tyrrhenian islands and it is of course also on the land route to France. This has repeatedly been its misfortune but also explains its very strong national identity; any visitor to Catalonia will at some point observe separatist graffiti and, probably, the legend “Catalunya no es Espanya!” – I guess that this doesn’t need translating. Catalonia’s language is extremely important to it: speaking it is a requirement of Catalan, as opposed to Spanish, citizenship, and enough people can remember its suppression under Franco that its defence is a concern that gets even the young, in fact especially the young, very agitated. But, though fascism and nationalism may still be the shadow that looms over the current political climate here, the difference of Catalonia goes back not to Franco but to the Franks, because of course this area, along briefly with Aragón and Navarre, was the Spanish March of the Carolingian Empire, and it is to this that its language, which is closer kindred to Occitan than to Castilian, most of its territorial definitions and its particular place in the peninsula’s history ultimately go back. The exact details of this process are not my business tonight but they are sufficiently hard to read up on in English that some basic dates are worth enumerating: 778, when Charlemagne campaigned into Spain at the invitation of two Muslim walis of Barcelona and Saragossa only to find that these two had changed their minds when he arrived, with tragic consequences on his return journey; 785, when despite this and for completely obscure reasons, Girona (whoever ‘Girona’ may have been in this sense) and, it is assumed, the counties of Urgell and Cerdanya as well, seceded from Muslim rule to Frankish; 798, when a new frontier line was established, many of whose fortresses can still be observed, albeit in ruins; 801, when after years of fruitless campaigning Louis the Pious, as King of Aquitaine, managed to add Barcelona to the new province; 809, when the Frankish armies finally halted their attempts to expand further after a vain attack on Huesca (and a successful one on the old area capital of
Tarragona, which however they decided not to hold); 820, when the count of Barcelona was exiled for treating with the Muslims; 826, when the exiled count’s son and a mysterious rebel removed the central frontier county of Osona from Frankish control, for most of a century; and 829, when Lothar, Pippin and Counts Hugh and Matfrid famously arrived so late with their army that the Muslim force they had been sent against had already gone home. This is the point at which most writers have lost the story, because the Royal Frankish Annals from which it is derived cease, but more could be added, describing the rebellion of Bernard of Septimania, and in fact every single other Frankish count placed in charge of Barcelona, until 878 when the harried Louis the Stammerer appears to have placed a certain Count Guifré and his brother Radulf in charge of most of the area. Guifré’s family hailed from Carcassonne. They had been victims in William of Septimania’s coup here and were locally rooted, and as far as Catalan patriots are concerned they are where the story really starts. Certainly Guifré—whom later centuries would know as ‘the Hairy’, because, explains the twelfthcentury dynastic chronicle coyly, he had hair in places that other men did not—dealt fairly independently, installing his other lay brother in another county apparently on his own initiative, recovering Osona in 879 from its uncontrolled noman’s land status, settling bits of the frontier, reorganising the Church and fighting Muslims, and when he died in 898, in battle against the lords of Lleida, three of his five sons succeeded him immediately without any apparent reference to the king (though 898 was probably a bad year to go looking for the king of West Francia). Nonetheless, his eldest son and subsequently his eldest grandson went north to recognise Carolingian kings at times, occasionally royal permission was sought for various comital actions and, at a much lower level, the area’s documents continued to be dated by the Kings of the Franks, and Carolingian kings for preference, until 1147; that difference in origin was felt even at this level. Occasional frontier settlers, and more numerous monasteries and cathedrals, made journies north to get royal charters for their properties, charters that can sometimes be shown to have been respected. Perhaps because it cost them so little, those who thought of such things here continued to think of themselves as Frankish subjects in a way that people in Toulouse, the Auvergne or (most equivalently perhaps) Lombardy or Friuli did not. So that’s one context. The other context we have to grapple with is that of the evidence. Narrative evidence written as such does not begin to be preserved here until midway through the twelfth century, the exceptions being some extremely scant annals that may date from the mideleventh. Quite a few charters contain more political narrative than these texts. Their early recall is almost nonexistent, and almost always involves only two dates prior to 1000: Louis the Pious’s capture of Barcelona in 801, and its sack in 985 by the Muslim armies of alMansur, an event that sank so deep in the intellectual
consciousness here that it has been blamed for crystallising Catalonia’s identity. Obviously, given twentiethcentury politics, Catalonia’s identity has been something that many people have been keen to find, and there exists a contrary view that at this point the future principality was defined only by not being part of anything else: it did not share a government or a language, it did not have its own Church province (and attempts to show that it wanted one have, I think, been mistaken), and although the counts of Barcelona had a certain preeminence, the limits of this were sufficient that it would not be until 1137 that those counts ruled all of the old Carolingian counties here, although their rule by then had expanded a considerable distance beyond them. So the national history that 985 is supposed to have started took a long time to emerge and before that what we basically have, other than a few references in Arabic sources, is charters.
The Complications of Charters
Now, nonroyal early medieval charters are not simple things. They absolutely must not be reckoned as official documents, at least, not in such a way as to impute any reliability to them because of that. Criticism of these documents must not end with the traditional discrimen veri ac falsi: it is not that there are no forgeries here, quite the reverse, but because these documents were privately made for the beneficiaries, they sometimes record what was hoped for, or what would have been good or even what ought to be remembered, rather than what actually happened. This was not necessarily deceptive—although I’m sure it sometimes was—as parties could be complicit in the confection of these records. The most famous example of this, about which I’ve spoken here before, is a huge hearing listing nearly 500 people from the nunnery of Sant Joan de les Abadesses, and we’ll come back to it shortly, but in brief it constructs a story about the settlement of the nunnery’s valley by Guifré the Hairy that his own documents contradict and which opens all kind of agendas about audience of rule and consent to it. The point for now is that with this kind of agenda operating, it would be possible for a document to be completely authentic and contemporary by purely diplomatic standards, and still record a gathering of people that never happened approving a transfer of property that was never carried out. I’ll give you an example of each so that you don’t get too comfortable with what I then go on to do with this evidence. For example, a witness list ought, you would hope, to record people who actually came together to witness a transaction. Hopefully, indeed, this was usually the case but sometimes it demonstrably was not. A simple example of this comes from Barcelona in 1018 when Count Ramon Borrell oversaw a sale to a Jew of the city called Moises. This document is fascinating for many reasons: Moises was not allowed to represent himself but had to have a Christian advocate, but on the other hand the Christian document was
apparently not good enough for all purposes as it has a Hebrew abstract on the dorse in which the Christian representative does not feature. But for our purposes the crucial thing is that the count and his wife, the redoubtable Countess Ermessenda, signed in different ink, and the scribe adds to this by naming the three witnesses who follow the countess as those ‘who were with the countess when she signed’. In other words, before this document was archived—and it survives in the comital archive, which raises the question of what the recipient got—it was taken to at least two places and, given the Hebrew endorsement, perhaps three; there was no one gathering, and it was only the document itself that was witnessed by all parties. Secondly, and more obviously, just because someone tried to carry out a transaction does not mean that it succeeded. In 999 the monastery of Sant Benet de Bages took a woman named Ajó to court for lands that a priest named Danlà had promised to them at the monastery’s consecration in 966. Since that time, however, CountMarquis Borrell II of Barcelona, Girona, Osona and Urgell—and you can see from the map that this was no mean slice of territory—had appropriated the land and given it to Guifré, Vicar of Néspola, Ajó’s late husband. Ajó still held the land in 999, but since Borrell was now dead, it was presumably thought safe to attempt to recover it, and indeed the court ordered that the count had had no right to the land and that therefore Danlà’s bequest should be fulfilled. Poor luck for Ajó, we might think, and evidently she thought so too since in 1000 she was taken to court again by the monastery for not having complied with the verdict. (It’s interesting that the monastery had been unable to get the verdict enforced.) This time a different judge heard the trial; Borrell had recruited a cadre of highlyeducated judges most of whom were still in business, though Guifré of Néspola had also been a judge of some sort. This one rejoiced in the name of Ervigi Marc, and he decided that although it was clear that Borrell had had no title to the land, nonetheless Ajó did hold it justly herself, since she had a genuine charter for it and so on, and that therefore the law required that she be compensated for her loss. Unusually for Ervigi, he did not actually cite the relevant law, which is probably because the Visigothic Law that ran here contains nothing of the kind. The upshot was, anyway, that noone was willing to offer this compensation, and so with deadlock achieved the judge resolved it with a compromise whereby Ajó and her daughters held the land for life, paying a certain amount of its revenues to the monastery, which would inherit it when they all died. We could probably see this coming, but it was not the verdict Sant Benet had initially wanted, probably because of the family’s powerful position in the area. The point is, anyway, that had we not the second document, we would have no idea that the first verdict was not carried out. This does not mean that we should assume all such documents were empty threats, but it does mean that they were, and all transactional records were, at least partly aspirational. Surely, for the most part, all concerned parties aspired to the same outcome, and we can hopefully rely on the testimony they give us, but this kind of caution needs to lurk in the wings.
If you’re a high medievalist, by the way, all of that probably seems really obvious to you, because the documents you’re used to are mainly originals and usually fairly verbose and so you get these kinds of details. But these are not things that are always obvious in the early Middle Ages, because we very rarely do have large numbers of originals or archives where they have not been sorted through (as at Sant Benet, which obviously no longer needed the former charter after the second one had been awarded, or the former one after Ajó’s heirs had died). The result is that the possibility that documents which look right are not necessarily accurate is rarely considered. This is a whole separate paper, however, and for now I just offer these warnings so that you know that, however glib what follows may seem, I did think about these things when I wrote them.
Sant Joan de les Abadesses and its community
The other problem that we have with the documents of course is that, even if they were not all originally generated by the Church, which some at least were not, most of them were preserved by the Church, meaning that barring a certain number of documents that just seem to have travelled with their more relevant fellows from family archives to ecclesiastical ones, we have only documents that the Church had a reason to want. There are some exceptions, but the natural upshot is that it is far easier to study ecclesiastical power than secular power. That said, in some places it is hard to tell the two apart. For these reasons the first part of the book focuses on the nunnery of Sant Joan de les Abadesses, then known as Sant Joan de Ripoll, which as well as being the first known nunnery in the Catalan counties was also a foundation by none other than Guifré the Hairy, who placed here as oblate his daughter Emma. That, according to somewhat dubious endowment documents, was in 888; by 898 she was acting as abbess and getting a royal privilege for the house, followed by a conciliar exemption from the various bishops of the province in 905 and 906. This has to be seen as part of a larger plan: Guifré had also put his fourth son, Radulf, into the neighbouring monastery of Santa Maria de Ripoll, which unlike Sant Joan appears to have been a monastery even before Guifré got there, and had Radulf not left after his father died we can probably assume he would have been abbot. The two partner houses both faced onto the open frontier zones and should be seen as much as centres for organising the new territory as any kind of spiritual investment, though they doubtless provided that rôle as well and Guifré would be buried at Santa Maria after his final battle. The two siblings thus joined their brothers as magnates of a frontier territory opening it up for both development and control. Emma seems to have been a forceful presence. Her numerous purchases show us a determined effort to develop a hold among the semi independent landholders here that included not just funding settlement but
founding churches. They also, of course, show us a great number of people, as transactors, neighbours and witnesses. Because Emma was so active, we see something of society about here; if she had not been, we would not have any evidence, and there are still substantial areas of the abbey’s territory that are blank to us, quite apart from a frustrating number whose documents we know existed but which are now lost.
Finding Peasants
A question that is fair to ask is how much of society we see. In an evidential base that is generated by a land market, the people we principally see are transactors, and they had land to spare. We may sometimes suspect that they did not have very much: one Viaric, who appears once in the record giving half of what seems to have been a relatively small plot that he had cleared himself to the nunnery, or a couple called Guitesèn and Filmera who gave twothirds of an inheritance, measured as six sesteratae, in 930, do not seem as if they were in a position to dispose of more. But this is assumption: if they were just stingy and had no interest in interacting further with the monastery, we would not be able to tell. More than this, however, we must wonder if we can ever see the actual peasantry, the people who could not have afforded to dispose of their land because it was almost all they had. Sometimes we can break through this false floor in the evidence and the huge hearing over the Vall de Sant Joan is one of these cases. The effort takes some demonstrating, but the document is worth the exegesis for the depth it gives us on society in the area. On the other hand, I spoke about it at length here eight years ago and though I don’t imagine I really burned it into your minds then, I feel I shouldn’t go into too much depth, because it also formed a big part of my first article, which some of you may have read. So, briefly, this was in 913, and it is odd because Emma was up against her two brothers, Miró Count of Cerdanya and Sunyer, who had succeeded their elder brother Guifré the second as Count of Barcelona, Girona and Osona in 911. What was at issue, according to the hearing documents, was the ‘lesser royal service, that is, hostings or other services’, in other words fiscal rights. We might understand why the counts felt that these should be theirs, but the fact that Emma’s justification of her right to them came from an easily falsifiable account of the takeover of the area by their father the Hairy from the Saracens, whereas actually as the 493 people whose names were given as testimony must have known, he had largely bought it from wellestablished Christian landholders some of whom were even present at the hearing, suggests that the real audience was in fact the 493 people and that the real point of the hearing was to emplace the abbess as effective count (and apparently war leader!) in her territory by cession from the counts, with an appropriate ideological justification that none of her new subjects were going to be able to gainsay. That much I covered eight years ago, but we can say a lot more about
the way that the people swearing were recorded. Twentythree different settlements in the Vall de Sant Joan were listed, and their population enumerated; these persons largely appear in matched malefemale pairs and though they are not said to be married, and no children seem to be listed, the extensive presence of women suggests that this document is actually listing all the adults in the valley. We can confirm this suggestion to an extent by considering how many of these persons recur in later (or even earlier) documents. A few of the people, largely those listed first in their respective settlements, do crop up again, albeit often in service to the abbess. Reinoard, who headed the signatories for la Vinya, held enough land in the next valley south, Vallfogona, that he does not need to be considered as a dependant, and he spent some time as saio, a Visigothic dignity that is something like a constable. A man called Esclúa represented Emma in court on one occasion but later turns up as son of a woman who jointly held a castle, so the fact that he also appears as head of a settlement, one moreover that bore his name, Scluvane, suggests that he should rather be seen as a notable who had been recruited to help make the valley work, rather than a peasant who had been given a legup by the monastery. There were others like this, though they did not serve the powersthatwere in the same way. But there were also many who were not like this. It is not that names in the hearing do not recur in notable contexts, because they do, but with hundreds of names – and no surnames to disambiguate them – this might be occurring simply by coincidence. And in fact, further investigations show that such as can be identified were not well placed people. For example, there were two people named as swearing called Miró, one for the hamlet of Encabats and another for Riubaulencs. Miró is an extremely common name here, but one such is seen in the abbey documents as a landholder in la Vinya and Arigo, the two most obvious concentrations of settlement in Vallfogona to the south, and another is seen as a witness of Guifré’s endowment of the abbey and a landholder in the Ripoll area. If these people were also now the abbey’s tenants in the Vall de Sant Joan, that would be impressively significant, but unfortunately two persons called Miró appear elsewhere in the hearing, one as witness and one as a bonus homo present but not witnessing. It seems inherently more likely that he who had witnessed before was witnessing again than that he had taken on a small plot in a tiny new hamlet as well as his estates in Ripoll; likewise, the standing of the Vallfogona landholder makes him a plausible bonus homo, since others from there with less common names also appear here in that context. It seems likely, therefore, that neither of the men listed as present watching the oath can be either of those of the same name who took it, who are therefore otherwise unknown. Miró (either of them) is not the only such example. Also seen in la Vinya de Vallfogona as a witness is one Froilà: the same choice between him as witness or as settler (in la Vinya de la Vall de Sant Joan) faces us at the
hearing, and as before it seems simpler to suppose that the witnessstatus man appeared as such both times. Lastly, of several more that could be cited, there is a man called Radulf, appearing as a witness in la Vinya de Vallfogona on two occasions; while a man of this name or close to it (Randulf) is noted among the newer settlers in the oath document, there was also a bonus homo of the same name present, and it seems, again, more plausible to identify the witness as the bonus homo than the settler. Consequently again the settler must be otherwise unknown in the record. With each one of these examples the evidence seems to grow stronger for the conclusion that the population of the Vall de Sant Joan was of lower status than those we see in documents from outside. Reinforcing this impression is the fact that the hamlets inside the Vall de Sant Joan rarely appear in land transactions after the hearing. Villaplanes makes one appearance, in 921, when it was said to be in ‘terra sancti iohannis’; Emma appears as a neighbour, suggesting that some of those who worked the land in the house’s alod were of insufficient status to warrant naming themselves. The land in question was being sold to Emma, in fact, so this island of independence is only visible to us as it disappeared: how many more there may have been, we cannot tell, nor how long they lasted. The only areas inside the bounds given in the oath that clearly occur in documents after the Vall de Sant Joan hearing are Boscarons, Genebrosa and Isla de Longovard. These places are united by one common factor, which is that in their later appearances they are part of different territories. Boscarons is clearly identified in later documents as part of Caballera, to the north of the Vall de Sant Joan and explicitly excepted from the oath in 913. Genebrosa appears by 1000 to have slipped into the term of Segúries, to the east of the Vall de Sant Joan and an area in which Sant Joan also had substantial interests, but still not the Vall de Sant Joan. Lastly, Cases de Longovard, as it became, seems to have fallen into Llaés, again to the east. What we are seeing here therefore is peripheral areas which somehow or other escaped the transactional black hole of the ‘alodes sancti iohannis’. Land remaining in that area was no longer for sale. Meanwhile, as we have seen, those on this land seem rarely to have taken part in land transfers, and for the most part do not reappear in our record. I think we are justified here in saying that these people were small peasants without the resources to earn themselves a place in the record, who having been exposed to us by this one unusual occasion are lost to view hereafter.
Distinguishing the Free
The inhabitants of these zones, then, were at the very least some sort of dependants. Although, as we have seen, some of them also held land elsewhere the vast majority do not appear to have done so. The valley had become, in fact, something like a monastic reserve, albeit not organised in grand demesne style, to which the terrain is no more suited than was the
social makeup. Nonetheless, by 961 one scribe working in Vallfogona could call the inhabitants of the Vall de Sant Joan “servientes sancti Giovannis”, which emphasises several things: firstly that even now the word servi would apparently not quite fit; secondly, that despite that a state of dependence needed to be expressed; and thirdly, that if you were in Vallfogona, apparently, you were not in the same group. I go into very great detail about Vallfogona in the book, including the abbey’s attempts to establish itself there, but because of time I just want to put one aspect of what I say there before you today, the fact that people in Vallfogona reacted in very varied ways to this expansion of a power interest. Sant Joan certainly found friends here, people who would work as saio, as representative at law or more prosaically as farmers, and some of these relationships needed complex renegotiation through court cases in almost Cluniac style. Others, presumably, chose not to interact with the abbey: people who appear in these documents only as neighbours illustrate the existence of such a stratum of nonengagement, and the few documents from what remained of the comital archive after the sack of Barcelona also show us persons who are not otherwise attested: the abbey documents do not, therefore, record everyone. Probably, some people were actually opposed to the abbey: this is much harder to show, because a court case here is not necessarily evidence of this, and the simplest way to oppose the abbey’s attempts to get your service would be to move: there was still plenty of land to be taken in here. But one might also seek alternative patronage, of course, which might show up because of other archives preserved from the area— though not, frustratingly, Santa Maria de Ripoll’s which was burnt entirely in 1835 and survives to us in regesta for certain areas only. One particular case shows how complex this could get, that being one of a man called Guimarà. There were at least two and possibly four men called Guimarà around Vallfogona in Emma’s time and you’re going to have to trust me when I say that there are reasonable grounds for distinguishing this one, but we can in fact say quite a bit about him. His father Placià had given land to the abbey in 905, and Guimarà then consented; he and his wife Bonita then sold land to Emma the same year and before the year was out, Placià, now remarried, sold land to Emma again with his children’s consent. This is an interesting family, in fact, not least because Placià and his first wife gave them highly unusual names: this means that we can say with some hope of accuracy that brother Gomesèn seems to have taken service with the bishop of Vic, who left him an ox in his will, and may then have returned to settle in the Vall de Sant Joan and gone on to found a new settlement with backing from the abbey. Brother Fermí seems to have married a woman called Eldoígia far to the south, near Vic where perhaps they met, and where the bishop, again, was the local patron. Brother Usilà and sister Aió may also turn up in the Vall de Sant Joan, though again with so many names there almost anyone might have a homonym in the valley. The two eldest brothers – Placià
seems to have kept his first wife busy – don’t seem to recur, which suggests that not everyone in the family had to deal with anyone at all. Guimarà is the most interesting, however, as despite their previous friendly relations, in 918 Abbess Emma took him and Bonita to court over a piece of land held by Bonita. The couple called on a local notable called Francolino to stand as author for her tenure, and “he did not do it”, which is all the explanation we get, and as a result Bonita lost the land. Then the couple basically drop off the abbey’s radar and therefore ours. When they reappear, it is thanks to the comital archive, because in 931 they sold a huge chunk of land, in local terms, the entire eastern end of the valley, to Count Sunyer, Emma’s younger brother, who already owned a substantial estate just beyond the ridge that closes off Vallfogona in that direction. The real interest here is that this land had already been given to the abbey some years previously, but apparently Guimarà and Bonita had managed to get hold of it anyway, perhaps because Bonita had a family claim that the couple had managed to defend. We don’t have that court case, but of course we wouldn’t, would we? But whether they had stolen it or whether they had won it they had the land solidly enough to get 100 solidi from the count for it, and this forms part of a bigger story of Sunyer’s moving in on the abbey that there isn’t time to tell here. The point is that there were options open for this family. The abbey was an obvious one: but there were other patrons, the abbey wasn’t allpowerful, it could even be fought, and in any case in this area there were plenty of other things to do to make good. It was apparently too pressured a situation to just sit tight, ignore lordship and, in the words of Chris Wickham, “eat more and work less”, but there was at least more than one job to work at and we seem to see people, even in the same family, choosing as they saw best.
Social Hierarchies and Ranged Influence: Gurb’s landholders
This is beginning to raise questions about what a frontier situation, or anywhere sparsely populated with land to take in really, can do to a social hierarchy. There were nobles around here, though not many, and they would get a lot closer over time, but there was also a range of seemingly independent free, some of whom could only be tenants but some of whom could found villages. Subsequently, therefore, I went in search of terms to express this gradation of standing, and to do this I moved focus to a place called Gurb. Gurb is interesting because the social orders were thicker here: although it was very close to Vic and the cathedral was very important there, not least because its clerics seem to have staffed the local church of Sant Andreu, we can also find the local viscounts, counts and a variety of other persons of influence, as well as very localised transaction corpora that let us see what must be most of a local population buying and selling tiny portions of land, between themselves or occasionally to the cathedral, which they or
their parents had often cleared from the ample supply of wasteland and apparently turned into working assets.
Adalbert and Social Climbing
Within these groups, some people managed to get rich. This was usually a severalgeneration effort, and that’s quite hard to show as it’s annoyingly rare that people in these documents name the parents from whom they frequently claimed to have got their land, but in the case of a chap called Adalbert, the chains can be reconstructed. He was also one of a group of siblings who are helpfully named together for us in one document, though even there their parents are not, and he had a regular collaboration with the siblings of another family who are similarly identified. As the generation aged, most of the land they had mutually acquired came under Adalbert’s control, and when he died he was able to will land over a wide local area to five different churches, one north of the Pyrenees and implying some travel in his history that we don’t see. There was presumably also a lot of land he didn’t bequeath, not least because his widow Guisla carried on buying, with some of the same collaborators, for some years afterwards. In the course of his career we see Adalbert spend around 170 solidi on land, which given that the average plot retailed for around 4 at this time shows you the kind of owner he was. But he managed this not just by being son of a family of fairly welltodo secondgeneration pioneers—I’m aware I haven’t made that argument here but I do in the book, and it needs too much background to rehearse here and now—but by having ready collaborators who were willing to cooperate with the assembly of a large landed portfolio from which they all, presumably, saw an increase in status. This was not necessary: other families who show up in our documents did not collaborate in such a way and divided the land up rather than concentrating it. These people wanted to climb and in this area that was possible.
Power at the top: Ansulf of Gurb
On the other hand, there were also people in the area who could spend more than Adalbert’s entire career outlay in a single transaction. Such a one was the operator of the Castell de Gurb, the Vicar Ansulf. His story has already been told, in so far as it can be, elsewhere, and not just by me, so suffice it to say that though his ancestry is obscure, he had been Vicar of another castle to the north, Sant Llorenç, vicar being a secular office in this context I should say, and was given substantial properties in Gurb in 961 by Count Borrell II, by which time he was being named as domnus in documents there. Whether or not he kept his title at Sant Llorenç, he certainly became Vicar in Gurb, and his family would keep it as their patrimonial centre for generations afterwards despite their more considerable importance in other stillfrontier areas. Furthermore, he also had dealings with the nearby
bishops: one of his sons became a canon at the cathedral and later held three different castles, two from them and one from the count. This kind of double handed patronage made the family almost irremovable and apparently gave them access to considerable resources; in 972, for example, Ansulf was able to buy a Gurb church and its supporting land from Count Borrell for goods worth seventy ounces of gold. This was a different league from Adalbert. Adalbert must have been wellknown and important in, say, his local church community at Taradell. He did not, however, deal with the counts at any level, although he did have connections to both the cathedral and his own local vicar, and all his land that we can see was held in the same county. Ansulf’s son Sendred was seen with the count in many different places and held land in at least three counties including near the prosperous city of Barcelona; more importantly, he and his brothers between them controlled at least seven castles, some very deep in the frontier where the opportunities for expansion were most unlimited. To synthesize briefly thus far: in this area, at least, many people had some opportunity to increase their local standing and wealth, and a good number of them took it, with greater or lesser success. Their decisions were made on an individual basis, and usually worked best when they had the support of others, be those their peers or any of a choice of superiors, but many a village founder may not have had such support or, if he did, from dependants not superiors. (Some, of course, remembered support from the king, not necessarily that long ago, though that support must always have needed local acceptance by the powersthatwere to be effective.) Their success and their opportunities of course also varied with their circumstances, and circumstances did vary, quite a lot. We can conceptualise this most usefully, I think, in terms of reach or of range. A tenant in the Vall de Sant Joan had almost no range: he or she could reach only to the abbey, and then only as far as the abbey was happy to accept that, though even here the opportunity probably existed to up sticks completely and try elsewhere, if they could somehow raise the capital to keep themselves fed until that venture started turning fruit. In Vallfogona, alternatives were available, not just the falselyinvisible Santa Maria just up the river, but the bishops of Vic, and to an extent the counts. In Gurb these options were closer by, so it didn’t just matter who you were and what you had, it also mattered where you were. Someone who was moving would want to think about that. Even in Gurb, however, Adalbert could reach across a fair part of the county, and his lands, that are all identified by his name in boundaries, cannot all have been farmed by him: there must have been people on them who are simply not recorded. He could reach down, therefore, but not very far up: his bequest to the cathedral suggests that he was known there, but there is no hint of him obtaining anything from the bishops or any idea that he was anyone’s retainer or follower, even the Vicar Guifré of Taradell with
whom he sometimes had contact. This independence restricted him somewhat; those who could get charges from the powerful might do better (as had Guifré, it would seem, who otherwise transacts at the same sort of level as Adalbert in his appearances). Ansulf and those like him were however playing at far higher levels; they could reach not just down to the same ground as could Adalbert, but outwards and upwards to counts and bishops who needed them, not just indulged them, and over a wide geographical range, from the far northwest corner of the frontier at Queralt to southern Vallès near the comital capital. The different strata of potential influence are hard to represent graphically, but as a concept this differentiation is obvious, easy to grasp and possible to apply elsewhere.
Power of the Counts
Above this, of course, were certain abbots (Santa Maria’s for one, and Abbess Emma at least for Sant Joan, though her family origins were obviously a big factor there), the bishops, viscounts and counts, and the book has something to say about them too, and whom they chose as their followers where and why. Here I want only to take two examples from the career of Borrell II of Barcelona, Girona, Osona and Urgell – two further examples, because of course Ansulf and Guifré the Vicars are two also – to illustrate that the counts too, had choices, although they might be constrained.
Power down to the Ground
These two instances both show the count in direct negotiation with peasants and smallholders, first on lands that he himself controlled and then on land that he could be forced to admit he did not. The former of these cases seems to be shown in a nowlost document from Santa Maria de Ripoll, preserved through two regesta by the Ripoll archivist Jaume d’Olzinelles. It deals with the settlements of Armàncies and Palou de Campdevànol, Balbs de Ripoll and Salter, Mullol and Vidabona d’Ogassa and their coloni, all here being placed under the lordship of Santa Maria. Olzinelles’s two accounts differ in detail. In the earlier he wrote that what Borrell was doing was transferring to the coloni there the right to donate the alods, and themselves, to Santa Maria. In the latter, more simply, he recorded it as a donation by Borrell of the alods to Santa Maria but subscribed by the coloni. There were apparently over two hundred signatures on the document, which Olzinelles reckoned to be some fifty households but which understandably enough he did not transcribe. As a regrettable result this data was lost in the 1835 fire at the monastery, depriving us of a Santa Maria parallel to the Vall de Sant Joan. Exactly why the peasants’ consent was necessary here, unlike other transfers where no such attention was paid to the wishes of lands’ inhabitants, is hard to guess. Perhaps rights were being transferred which the inhabitants were likely to consider their own otherwise, such as fiscal ones to which Borrell’s
claim was only arguable, or perhaps the inhabitants of these ‘alods’ of Borrell’s held their land in a privileged way we cannot now reconstruct. In either case, Borrell was still able to dictate the transfer. The alternative is shown in a 977 hearing over Vallformosa, west of Manresa in the real frontier zone, where the inhabitants successfully invoked the thirtyyear rule of the Visigothic Law, effectively a statute of limitations, to refuse the services Borrell claimed from them on the basis of his father’s rule of the area. Borrell had no proof of his claim, or at least his representative could offer none, and the inhabitants kept their independence. The fact that the document was nonetheless preserved in the comital archive may raise the question of whether this was a contrived process intended to create a franchise; but as franchises proper were being made at this time, there seems little reason to go to these lengths to accord one. Borrell’s power, then, did not only reach down through society via intermediaries; sometimes it went to the ground direct, and sometimes once there it was unable to make itself felt. This observation brings me to the point of initial conclusion, then, before carrying on into the epilogue. I have repeatedly stressed choice and agency here: in doing so I have obviously concentrated on those who had some, and of course there were those who did not, but those who did were not prisoners of a zerosum game or a monopolistic system or whatever other anachronistic term for a particular form of social organisation we might favour. They had choices and they chose accordingly. The variation in these choices was substantially geopolitical: if you remained in the Vall de Sant Joan you were not likely to become a substantial landholder except via the abbey, and even then perhaps only really if you managed to play the abbey off against the counts, which was more of an option later than earlier, as the hearing of 913 itself shows. Variation over time as well as space, therefore, but also variation simply because of the decisions of those involved. Our transactions all involve two parties, at least; both had to be willing, even if reluctantly, for either side to advance themselves. We have now, I think, covered enough ground to say something serious about what power in this zone, and therefore perhaps others, was like. It was like this: a puzzle box, of the oldfashioned sort in which a maze in landscape can be tilted in two dimensions to allow a marble to be rolled around it. Holes in the maze floor allow this marble through to lower, invisible levels, where another maze may eventually allow the marble through. Only some of the holes lead to the ground. In Vidabona d’Ogassa, apparently, Borrell could roll such a metaphorical ball and it come out at peasant level with Santa Maria de Ripoll ready to receive. In Vallformosa, the peasants were able to stop the ball reaching the ground. If he had similar wishes in Gurb, he would have to negotiate the ball down to either the Vicar Ansulf or the bishop of Vic, and the bishop would probably then also have to go through Ansulf although in certain places he too could reach the ground direct. In others, he would have to deal with independents like Adalbert,
which would probably involve money or land as Adalbert appears to have set no store by office. Adalbert, however, could not reach the count and if he had needed to would likely have done so via the Vicar Guifré, even if it were not specifically that man’s territory that was concerned. Ansulf, furthermore, owed too much to the count to ignore Borrell’s wishes; his family did not yet hold their castles as alodial property, and they might have been reassigned although in the case of Gurb at least, it would have been very difficult. But this box and that marble represent, in a way at least, the way that power worked here; it took varying routes, some more complex than others, from top to bottom, from core to periphery and so on, and this evening I’ve been trying to take the lid off the box to show you what some of those routes were like, and thus what they might have been like elsewhere.
Epilogue: comparing the counts
When I began the thesis that ultimately led to these conclusions, indeed, one of the aims was to carry out that comparison, through space with Ottonian Saxony or Carolingian Brittany for example, or else through time with something like the Welsh Marches. With as much material as I had, that never quite occurred, and it’s only really now that I’m gathering myself to do it. When I leave my safety zone, however, I want to be wellarmed with models and the set I’ve lately been trying to construct has been about strategies and tactics of the powerful in managing their followers and the kinds of opportunities that I’ve been talking about, geographical and personal —here more than many other places the political was personal. For the book, I did this in detail with Borrell II, as you may have been able to tell; he was an obvious candidate, because he was present in most of the areas I had examined for other reasons, was by far the most powerful ruler in the region, controlled all but a tiny stretch of the frontier and has left us more documents of his transactions than any of his fellows. Nonetheless, he did have fellows, and his situation of course owed much to the work of his father Sunyer, who also had fellows, and was developed to a peak by CountMarquis Ramon Borrell, who had the good fortune to be born in time to preside over the collapse of the Umayyad Caliphate in alAndalus, so that he and his brother could raid Córdoba itself in 1010. Après lui, as keen readers of Pierre Bonnassie’s work will know, le déluge, but his achievements were in many ways a continuation of Borrell’s. What I want to do for the immediate future, therefore, is do the same for Borrell’s contemporaries, their parents and successors and his parents and successors as I have for him, and compare the different ways that these people ran their differing principalities.
Caliph, King or Grandfather: differing representations of power
You might wonder whether one count is any different from another in these terms, or at least more different than their geographical and temporal
circumstances dictate. To this I would again say, yes they were, because their choices about what to do about those circumstances were individual. In the early stages of this work this has been most apparent in the area of representation of power. Borrell and his contemporaries appear to have been concerned enough about their political power, whether with respect to each other or to the wider political situation, that they occasionally theorised it or at least gave voice, through the scribes who wrote their documents, to ideas indicating that they had. A forthcoming article of mine argues that this was in fact due to a reassertion of royal power by Lothar III, whom obviously noone had told about the historical inevitability of the Capetians. But here, let me just end by setting out the differences between Borrell and his contemporaries. There are three documents of Borrell’s in which some kind of account of his power is given. One of these is his grant of land in Sassorba to Ansulf of Gurb in fact, where he was made to claim that he held the properties “by voice of a precept of the King of the Franks that the most glorious Charles made of all the fiscal lands and their waste lands”. This is not the only reference to such a precept by the comital family, though it is by far the most specific; despite this, local scholarship has thought it overall most unlikely that any such document existed. The claim here might be written off as one scribe’s fancy were there not two Barcelona documents of Borrell’s, from 981, by different scribes, which express a similar idea, here justifying ownership by “the fiscal voice that my ancestors obtained and indeed I obtain from a precept of donation of royal power”. I go into this more in the forthcoming article, but the most important thing here, I think, is that Borrell was not claiming that this precept was current; there had not been a Charles on the West Frankish throne since 923. This may well have been because since 961 or so (perhaps significantly for the date of this sentiment’s first expression) Borrell had been a client of the Caliph of Córdoba; the initial treaty had been renewed in 971 and 972, and it was only with the rise of alMansur that it began to look like a bad idea. Ultimately, of course, the sack of 985 discredited this policy, and Borrell’s lessthanstellar defence of his capital was also remembered in contemporary documents. At this point, he seems to have returned to the Frankish fold, sending a request for help to King Lothar III that resulted in orders at least for one frontier town’s repopulation and, a few years later, in a famous letter from Hugh Capet offering to lead his imminent campaign to Aquitaine further south to the March’s aid, if Borrell preferred “to obey us rather than the Ishmaelites”. This formulation must have stung, especially as it would have been drafted by Gerbert of Aurillac, whose first big break in the form of a trip to Rome had been given him by none other than Borrell. The count is now famous in Catalan historiography for not answering this letter and thus leading Catalonia forward into bold independence, even though Richer of Rheims records Hugh using a letter from Borrell to urge his magnates into the southern campaign which, of course, never materialised. It is clear, however, that the contemporary
understanding of Borrell’s loyalties was that they were rather less proto national and rather more compromised. Borrell’s contemporaries, however, had followed different paths. In a dual county that straddled the Pyrenees, Count Gauzfred of Empúries and Rosselló had no frontier with the Muslims and much easier access to the kings. This did not necessarily compromise his independence, since he lay well beyond the practical authority of the four kings of the Western Franks whom he outlived in his long career, but it did mean that he resorted to royal arbitration more often, getting five different royal charters for various institutions including a final one for himself from Lothar III in which the king addressed him as dux, a title that Gauzfred’s own documents never use of him, and amicus noster. Even before this, Gauzfred was having it written of his authority that it came from the king, and unlike Borrell he claimed the current king. The most elaborate formulation of this comes from the 976 consecration act of the monastery church of Santa Maria de Roses, a family mausoleum that overlooked the comital capital and port: here, Gauzfred donated property that amounted to: “whatever we have there through royal donation or through benefice of the king or through voice of our parents or through the fisc”. I argue in the forthcoming article that this kind of acknowledgement of royal debt was one that circumstances, and quite possibly new pressure from Lothar, had forced upon him but if so he was using it well; the kind of connection Gauzfred had with the king was closer by far than Borrell’s and could be worked to advantage. Between these two comital zones, whose owners never sign together in any document, even ones where they are both listed as present, lay a third in the form of the family principality of Cerdanya and Besalú. Here four brothers had succeeded in 928, and although one of them, Miró Bonfill, had been destined for the Church the murder of one brother Guifré and subsequent death of another, Sunifred, had forced Miró to take up the countship in Besalú while his brother Oliba Cabreta ran Cerdanya. This did not stop Miró also becoming Bishop of Girona, perhaps as the only solution to a dangerous deadlock between Borrell and Gauzfred, but he remained a substantial donor to the Church – once in verse – and a writer of long and Hellenicizing letters and elaborate documents. It is not, therefore, surprising that he came up with the most literary justification of the count’s right to rule in his area of any of his contemporaries. This is visible in the consecration act of the new church at Santa Maria de Ripoll, where Miró had been trained and in whose safety he obviously had a good deal invested. To guarantee it, he managed to get all the bishops and all the counts of the area together, albeit in separate ceremonies—Borrell and Gauzfred are both listed present at the first but only Borrell signed the eventual document—and tried to bring them together with an account of the monastery’s noble origins, origins that he bound up tightly with their own. He began with a hundredword preamble extolling the virtues of those who
supported the Church in times past, and then continued:
‘Among whom, there stood Count Guifré, of not insignificant memory, and, to tell more truly, dear patrician of his subjects, a man strong in the title of nobility, shining unmatchably in the vigour of the virtues; who among other buildings of churches, having expelled the Hagarenes who were the farmers here at that time, peopling the deserted land by means of assarts, built the monastery of Ripoll in honour of the blessed Virgin Mary.’
There are three ways in which this is significant. Firstly, Guifré was grandfather to all the counts present except Gauzfred (who may, as we have seen, not have been present in a real sense); this claim not only linked the counts together, as would the pseudoroyal immunity that followed it, but joined them to the monastery. Secondly, the account was not true, any more than the similar one at Sant Joan by Miró’s father sixtyfour years before had been: Guifré had not defeated Saracens to build Ripoll and they had not been there to defeat; he had had land cleared and bought from Christian notables just as at Sant Joan. Whether Miró knew this, we cannot tell, though he could certainly have read the relevant charters, but the heroic family origins mirrored contemporary concerns and again served to emphasise the counts’ common interests. Thirdly, and less obviously at the time, this was going to become the winning depiction of the history of the Catalan nation, as its core idea was repeated in the 1147 Brevis historia monasterii rivipulensis and thence combined with Borrell’s account of a king called Charles from long ago to form the family chronicle, the Gesta comitum barcinonensium, in the 1180s. These are therefore three different approaches to the conceptualisation of power and this gives me hope that it would be worth also comparing the counts’ rules in the more detailed way I have been describing this evening. One last document illustrates the possible interest of this approach. This is a hearing from the documents of the nunnery of Sant Joan, in which Abbess Fredeburga had brought a representation to the court of CountMarquis Oliba Cabreta of Cerdanya arguing that the men of Gombrèn, perhaps, just perhaps, founded by Gomesèn brother of Guimarà from Vallfogona, owed their service to the abbey. When I first looked at this document in print I assumed it was a forgery, because the men of Gombrèn are not even specified until the signatures despite supposedly being the object of the exercise, and because almost all those witnessing are men from the following not of Oliba Cabreta but of Borrell II. Even the judge, Ervigi Marc again, was one of the special Barcelona cadre who seem to have been Borrell’s recruits. The actual parchment, however, seems not to be forged so much as botched: gaps are left unfilled and the important details seem not to have been resolved when the document was first written up and then left until too late to be added in. This then leaves us having to take seriously the possibility that Fredeburga had been able to gather a posse of Barcelonaloyal notables
with whom to pack the court, and also that Oliba neither necessarily had his own men there (there is one who might qualify as a retainer of his, Florenci, against five of Borrell’s including the judge) nor feared to let Borrell’s judges hear cases in his territory. What Oliba thought he was doing with his management of power, therefore, how well it worked and why Borrell needed to do things differently, is something that will only emerge in further research, as I investigate enough of these puzzle boxes to come up with a compendium of possible political strategies for power management that may inform not just me but others working on other areas. So perhaps in another four years I’ll be ready to move on from Catalonia… but I’m not guaranteeing it!